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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2017-11-17
  • CO RA
    APPROVED
    Since 2017-11-17

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

4150 Kinross Lakes Pkwy, Richfield, OH 44286 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab Bank Lone Tree CO 03/2016 Present
Charles Schwab & Co., Inc. Lone Tree CO 07/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-17
S63 Uniform Securities Agent State Law Examination 2016-08-23
  • S66 Uniform Combined State Law Examination
    2017-11-17
  • S63 Uniform Securities Agent State Law Examination
    2016-08-23
Designations

View on SEC IAPD

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